1. Automating the Contract Review, Approval and Record Filing processes at NAIC By: Eric Chamas, NAIC Rick Macartney, Gimmal

2. Who is NAIC? The NAIC is a non-profit U.S. standard-setting and regulatory support organization created and governed by the chief insurance regulators from the 50 states, the District of Columbia and 5 U.S. territories. Through NAIC, state insurance regulators establish standards and best practices, conduct peer review, and coordinate regulatory oversight NAIC was established in 1871, employs nearly 500 people and provides support to all 50 states, the District of Columbia and 5 US territories

3. The Backdrop NAIC is in a document intensive business in a highly regulated environment NAIC utilizes SharePoint 2010 to organize and house documents for 20 departments producing over 150 corporate records a month. NAIC sought to increase productivity by automating key processes using workflow and records management technologies

4. The Challenge Design a solution that automates the content review, approval and record declaration processes Ensure that the solution is repeatable and extensible across various NAIC departments Make sure the solution is easy to use and does NOT require end users to have a knowledge of record or retention schedule details

5. The Focus Tech Services decided to start with ourselves first and chose to pilot the automation of the Contract Review and Approval Process ◦ The process was highly manual, paper-based and labor intensive ◦ Contracts physically resided in the Contract Mgr’s office ◦ Legal maintained an excel spreadsheet of approved, active contracts ◦ NAIC RM assigned retention periods and performed disposition manually ◦ Difficult, if not impossible, to ensure that retention and disposition policies were being appropriately and correctly applied

6. The Pilot – Phase 1 For the Contract Review Process we: ◦ Defined a set of content types ◦ Created a Contracts library in SharePoint ◦ Created a chain of workflows using OOTB SharePoint ◦ Streamlined our Record Retention schedule ◦ Created a network of record coordinators in each department to help educate and promote the initiative

7. The Pilot – Phase 1 The Contract Review Process was designed around the review and approval of a group of related contract documents using SharePoint Document Sets

8. The Pilot – Phase 1 Phase 1 was successfully deployed into Production for Tech Services contracts The next step was to integrate the records management capabilities into the process NAIC leveraged the experience, expertise and product set from the Gimmal Group to address Phase II requirements Gimmal iGS Quick Start Engagement

9. Why Gimmal? Business Solutions Software Development Kits Interoperability Accessing content from other data sources. Providing a single pane of glass to capture information spread across disparate information sources within the enterprise. Compliance Adhering to rules, guidelines, procedures and policies. A centralized point of control for people, application and information. Transparency: Ensuring that the right people have the right access to the right information. User Adoption Creating a compelling, easy to use/intuitive and consistent experience. Minimizing user effort & reducing complexities. Ensuring simple and intelligent search/findability Reducing the effort, time and expense to train. Reducing the stress and resistance to change. Governance Providing repeatable process and configuration to optimize business processes – for centralized management and delegation in line with organizational process and business rules, standardized look and feel. Ensuring the notion of predictability. Enterprise Information Management Solutions for SharePoint

10. The Phase II Challenge Design a solution that integrates the record declaration process into the existing Contract Review Process Make sure the solution is easy to use and does NOT require end users to have a knowledge of record or retention schedule details Ensure that the solution is repeatable and extensible across various NAIC departments Information Management for Everyone

11. The Objective Define an extensible Information Architecture using the existing NAIC content type definitions ◦ Leverage the Content Type Hub Setup and configure the SharePoint Record Center using the Gimmal FilePlanBuilder ◦ Utilize Content Type definitions and Content Organizer rules to make filing transparent to end users Implement an Information Lifecycle Model that drives the Records Declaration process for ALL content at NAIC ◦ Utilize Lifecycle States to trigger sending content to the Record Center Information Management for Everyone

12. Information Architecture Information Management for Everyone Metadata Inheritance Rules defined here apply to ALL content types New dept contract types are added at this level Individual Contract content types defined at this level

13. Gimmal File Plan Builder Screenshot here Information Management for Everyone

14. Record Center Design Information Management for Everyone

15. Content Type Hub to Record Center Mapping Information Management for Everyone

16. Workflow & Send To Rules Information Management for Everyone Contract Library Approval workflows route thru approval cycle Set Lifecycle State = “RECORD” “Send To” rules

17. Automated Record Filing Information Management for Everyone

18. Extensible design Information Management for Everyone Record Libraries are added as new content processes and types are defined

19. Phase II Summary Defined and implemented a content type hierarchy published via Content Type Hub Setup and configured the Record Center using the File Plan Builder Implemented ILM life cycle states WIP and RECORD to send docs to Record Center Workflows were redesigned to leverage the Content Hub in order to make workflows reusable across all departments

20. Questions ???